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DAVIES FINANCIAL ADVISORS, INC.

MURRIETA, CA · CRD 139764 · IAPD ↗ · ajdavies.net · 951-677-3960

$123.1MRegulatory AUM
6Advisory reps
10Employees
9Clients
51-100Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — DAVIES FINANCIAL ADVISORS, INC. reported RAUM down 57% ($288.2M -> $123.1M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
71
April 2025 — DAVIES FINANCIAL ADVISORS, INC. grew from 4 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
72
April 2025 — DAVIES FINANCIAL ADVISORS, INC. reported RAUM up 74% ($165.3M -> $288.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
October 2024 — DAVIES FINANCIAL ADVISORS, INC. notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
June 2024 — DAVIES FINANCIAL ADVISORS, INC. notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2024 — DAVIES FINANCIAL ADVISORS, INC. reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
62
April 2024 — DAVIES FINANCIAL ADVISORS, INC. reported RAUM up 40% ($118.5M -> $165.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
44
February 2024 — DAVIES FINANCIAL ADVISORS, INC. notice-filed in NV, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.